SEC Form 4 · accession 0001144204-16-137890
UNIVERSAL BIOSENSORS INC · UBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
VF Australian Equities Fund
10% Owner
Period of report
Dec 2, 2016
Accepted (ET)
Dec 5, 2016 · 4:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001279695
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Dec 2, 2016 | S | 154,736 | $0.32 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Traded as Chess Depository Interests ("CDIs") on the Australian Stock Exchange. CDIs represent beneficial interests in the common stock held by CHESS Depository Nominees Pty Ltd.
- F2The price per share of the common stock reported is stated in Australian dollars, as converted from a U.S. dollar price on the date of the transaction.
- F3The common stock is directly held by VF Australian Equities Fund ("Australian Fund") and indirectly held by Viburnum Funds Pty Ltd ("Viburnum"), the manager of Australian Fund, and the individual directors of Viburnum (Viburnum and the individual directors together, the "Viburnum Indirect Reporting Persons"). The individual directors of Viburnum are Craig Coleman, Marshall Allen, Anthony Howarth and Melissa Karlson. The Viburnum Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the Australian Fund common stock in which the Viburnum Indirect Reporting Persons have no pecuniary interest.